SEC Form 4 · accession 0001225208-16-036985
SCHWAB CHARLES CORP · SCHW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Terri R Kallsen
Officer — EVP - Investor Services
Period of report
Jul 22, 2016
Accepted (ET)
Jul 25, 2016 · 10:46 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000316709
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jul 22, 2016 | M | 3,362 | $12.10 | A | 17,822 | D | |
| Common StockF1 | Jul 22, 2016 | S | 3,362 | $28.0333 | D | 14,460 | D | |
| Common StockF2 | Jul 22, 2016 | S | 3,532 | $27.9855 | D | 10,928 | D | |
| Common Stock | holding | — | — | — | 2,456 | I | by ESPP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Nonqualified Stock Option (right to buy) | $12.10 | Jul 22, 2016 | M | 3,362 | D | Jun 1, 2013 | Jun 1, 2022 | Common Stock | 3,362 | 0 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $27.99 to $28.11. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F2This transaction was executed in multiple trades at prices ranging from $27.985 to $28.036. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.